Licensing Enforcement & Compliance: An Integrated Approach ... · Licensing Enforcement & Compliance: An Integrated Approach Provider Webinar May 12, 2015 May 13, 2015. ... Development

Bright from the Start: Georgia Department of Early Care and Learningwww.decal.ga.gov

Licensing Enforcement & Compliance:An Integrated Approach

Provider Webinar

May 12, 2015May 13, 2015

http://www.decal.ga.gov/

Bright from the Start: Georgia Department of Early Care and Learningwww.decal.ga.gov 2

Presenters

Rhonda ParkerCCS Director for Field Operations [email protected]

Elisabetta KasfirCCS Director for Program Operations [email protected]



Strengthens our current system for compliance by “integrating” these two licensing functions in one system

Embeds Georgia Code and National Best Practices for human care regulation/licensing (NARA)

Field tested enormous amount of data and looked at anomalies-almost 8,000 visits

Incorporates previous DECAL research studies

Fiene study on licensing compliance and Emory study on injury in child care programs

Uses enforcement strategies on a progressive continuum based on a program’s performance



Looking Ahead

Target implementation date- July 1, 2016

Starting July 1, 2016 forward, DECAL will look back for 12 months to determine potential enforcement actions & compliance zone level

Important to communicate now -any rule violations on/after July 1, 2015 will count towards the Violation History Level as of July 1, 2016



Development of New Enforcement Policy

In 2014 DECAL determined that a structured decision making system was needed for enforcement practice; became apparent that compliance should also be embedded in this new system

Task force was formed to study the current policies and make recommendations for strengthening system

Child Care Providers

Stakeholder and Industry advocates

DECAL staff

Partner State agencies



Key Philosophies & Guiding Principles

Child care providers in Georgia want to:Protect the health & safety of children

Meet all of the state rules

Correct rule violations as soon as possible

Exceed the minimum standards

Actions should be imposed when providers:Continue to violate the same rules

Violate rules which lead to a serious incident or injury

Fail to sustain correction over time

Enforcement actions should be appropriate and progressive:Apply least serious or restrictive action appropriate for circumstances

Move from least serious or restrictive to most serious or restrictive if violation(s) continue to exist or corrections are not sustained



Licensing and Rule Enforcement

A license from DECAL is an agreement or contract, between the provider & the department, to provide care that meets basic health and safety standards

When violations occur the agreement is out of balance

Enforcement actions are issued to restore balance to the agreement

Prevent/correct rule violations

End the agreement if it can’t be kept





Goals of New Enforcement Policies

DECAL is dedicated to ensuring that the policies are:

Clear- To help providers understand what will happen when they violate rules

Predictable- So providers will know what to expect

Fair- In order to ensure that actions are reasonable and just

Consistent- To make sure that providers are treated the same when they violate rules



What Will Change?All types of rule violations will be treated the same

A violation enforcement chart has been developed

Rolling 12-month period

Focus will be on:

repeat rule violations

violations which led to serious incident/injury

Different outcomes may be possible from current practices

What Will Stay the Same?

Consultants will conduct visits and assess programs for any rule violations

Core rules will still be rated either “low”, “medium”, “high”, or “extreme”

Enforcement actions will be determined based on each provider’s compliance history and the individual circumstances of a situation



How the New Enforcement Chart Works

Consultant conducts visits and assesses compliance with rules

New system looks at 12-month compliance history in relation to rules cited on current visit

Focus will be on:Rule violations that were associated with a serious incident/injuryRules that were cited more than one time during the past year

Chart will be followed to:(1) Determine the Violation Class(2) Decide the Violation History Level(3) Select the appropriate Enforcement Action



How the New Enforcement Chart Looks



Rule Violation Class

Four (4) classes of rule violations have been identified:

Class A- Low Harm

Class B- Medium Harm

Class C- High Harm

Class D- Extreme Harm



Violation History Level

Four (4) violation history levels have been defined

Points are added together for:1) The number of times the same rule(s) was cited during past 12 months

2) The severity of the repeated rule citations

3) High or Extreme rule violations on current visit anda visit within past 12 months



Determining Enforcement Actions

ENFORCEMENT CATEGORIES, LEVELS, AND ACTIONS

PREVENTION CATEGORY (P) INTERMEDIATE CATEGORY (I)

(Includes Prevention Actions)

CLOSURE CATEGORY (C)

(Includes Prevention Actions)

Prevention Level 1 (P1) Intermediate Level 1 (I1) Suspension of License (More than 1

week)

Technical Assistance Fine Revocation of License

Prevention Level 2 (P2) Intermediate Level 2 (I2) Emergency Closure (Imminent

Harm)Citation Per Rule Fine

Prevention Level 3 (P3) Per Day Fine

Formal Notice Letter Intermediate Level 3 (I3)

Office Conference Fine and Restriction

Restricted License

Restricted License & Per Rule/Per Day Fine

Emergency Monitor & Per Rule/Per Day Fine

Short-term Suspension (Less than 1 week)



Determining Enforcement Actions

Enforcement chart will determine a range of enforcement actions based on where the violation class and history level overlap



7,980 visits conducted between July 1, 2013 and March 15, 2014 were analyzed

Additional analyses are being conducted through three ongoing distinct field tests



Supporting Data

86%

22% of visits = no citations

2%

55%

77%



Compliance is the empirical designation that measures the ability of a program to meet basic health and safety rules. While licensing rules were created and are monitored to reduce risk to children and ensure that children are in healthy and safe environments, a designation does not mean that children are more likely to be injured nor does a designation mean that children will never be injured, it simply provides a retrospective measure of whether a program has sufficiently met the state’s licensing rules.



A program’s compliance designation/zone will be based on any licensing visit conducted during the last 12 months

Programs will be assessed on a fluid, rolling 12-month period; not a calendar based annual designation as it is currently

A program’s “compliance” designation may change from visit to visit

Three compliance zones defined:

Good Standing

Support

Deficient





DECAL programs will meet internally to determine policy changes to their areas (eligibility)

Strengthens the current system by “marrying” compliance and enforcement

Supports inter rater reliability by providing parameters for enforcement actions within defined ranges

System consensus achieved between stakeholders, child care providers, CCS, legal and research

Could be a national prototype for other states as they build ECE systems with a new national focus on health and safety standards as a foundation

Implementation begins on July 1, 2016

Rolling system – historical look versus predictor

Field tested

Builds on previous system



QUESTIONS & ANSWERS

©2007 Bright from the Start



To Contact Child Care Services

Bright from the StartGeorgia Department of Early Care & Learning

2 Martin Luther King Jr. Drive, SEEast Tower, Suite 670

Atlanta, Georgia 30334(404)657-5562

www.decal.ga.gov

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©2007 Bright from the Start


Documents

Licensing Enforcement & Compliance: An Integrated Approach ... · Licensing Enforcement & Compliance: An Integrated Approach Provider Webinar May 12, 2015 May 13, 2015. ... Development